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Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-01-19
MN RA APPROVED 2024-01-19
TX RA APPROVED_RES 2024-01-19
WI RA APPROVED 2024-01-19
  • FL RA
    APPROVED
    Since 2024-01-19
  • MN RA
    APPROVED
    Since 2024-01-19
  • TX RA
    APPROVED_RES
    Since 2024-01-19
  • WI RA
    APPROVED
    Since 2024-01-19

Branch Locations

450 High Street, Wrightstown, WI 54180 • United States

2700 Vernon Dr., Green Bay, WI 54304 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Investment Centers Of America Appleton WI 09/2006 08/2017
Sii Investments, Inc. Appleton WI 09/2006 08/2017
National Planning Corp Appleton WI 09/2006 08/2017
Sii Investments/ Tax Management De Pere WI 08/2017 10/2017
Woodbury Financial Services Inc De Pere WI 10/2017 01/2024
Osaic Wealth, Inc. Wrightstown WI 01/2024 Present
  • 09/2006 → 08/2017
    Investment Centers Of America
    Appleton, WI
  • 09/2006 → 08/2017
    Sii Investments, Inc.
    Appleton, WI
  • 09/2006 → 08/2017
    National Planning Corp
    Appleton, WI
  • 08/2017 → 10/2017
    Sii Investments/ Tax Management
    De Pere, WI
  • 10/2017 → 01/2024
    Woodbury Financial Services Inc
    De Pere, WI
  • 01/2024 → Present
    Wrightstown, WI
Previous Registrations
  • 2017-10-25 → 2024-01-19
    Woodbury Financial Services, Inc.
    De Pere, WI
    Green Bay, WI
    Ashwaubenon, WI
    Wrightstown, WI
  • 2006-10-24 → 2017-10-26
    Sii Investments, Inc.
    Appleton, WI
    Depere, WI
  • 2006-04-19 → 2017-08-07
    Investment Centers Of America, Inc.
    Ashland, WI
    Appleton, WI
    Ashland, WI
Other Businesses

1. FIXED INSURANCE SALES POSITION: Salesman NATURE: Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 08/07/2017 ADDRESS: 566 Redbird Circle, DePere WI 54115, United States DESCRIPTION: Helping with insurance sales with other financial advisors in our branch location 2. TENACITY ADVISORY GROUP, INC. POSITION: Partner NATURE: S Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 06/01/2019 ADDRESS: 2700 Vernon Drive, Green Bay WI 54304, United States DESCRIPTION: Offering Investment education and training to affiliated advisors 3. TMS INVESTMENT PROPERTIES LLC POSITION: Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/03/2020 ADDRESS: 566 Red Bird Circle, DePere WI 54115, United States DESCRIPTION: Rental management for duties 4. TMS FINANCIAL GROUP INC. POSITION: Wealth Advisor NATURE: S-Corp INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 08/07/2017 ADDRESS: 566 Redbird Circle, DePere WI 54115, United States DESCRIPTION: Provide various fixed insurance-based solutions to our clients when needed. It becomes part of the financial plan and yes, it is investment related. I receive commissions for this activity. 5. TMS INSURANCE HOLDINGS LLC POSITION: Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/13/2020 ADDRESS: 566 Red Bird Circle, DePere WI 54115, United States DESCRIPTION: No duties at this time 6. COMPASS ROSE INVESTMENTS, INC POSITION: Shareholder NATURE: S-Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2023 ADDRESS: 879 Forest Avenue, Fond Du Lac WI 54935, United States DESCRIPTION: Silent Shareholder 7. TAGWAY, LLC POSITION: partners NATURE: S corp-LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2023 ADDRESS: 109 E Badger Street, Waupaca WI 54981, United States DESCRIPTION: silent member 8. THREE KINGS CAPITAL LLC POSITION: Member NATURE: Partnership-LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/04/2023 ADDRESS: 2680 VERNON DR, GREEN BAY WI 54304, United States DESCRIPTION: Rental management, landlord 9. TAX MANAGEMENT SERVICES, INC. POSITION: Owner NATURE: S-Corp INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 08/07/2017 ADDRESS: 2700 Vernon Drive, Green Bay WI 54304, United States DESCRIPTION: Tax preparation for investment and non-investment clients, and the overseeing of full-service accounting. 10. TMS INVESTMENT PROPERTIES LLC POSITION: Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/03/2020 ADDRESS: 2700 Vernon Drive, Green Bay WI 54304, United States DESCRIPTION: Rental management for duties

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-04-15
  • S66 Uniform Combined State Law Examination
    2006-04-15

View on SEC IAPD

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